ANALYSIS: SEC Heads to YouTube for Its Investor Education Campaign

Aug. 19, 2019, 5:15 PM

I’m a proponent of investor education of any sort, so I applaud the SEC’s ongoing campaign to advance investor knowledge; but maybe for the next installment, the SEC will want to consider a different approach.

If you’re wondering why the SEC launched this campaign, go back to 2011, when they released a study required under Section 913 of the Dodd–Frank Act. An important finding from the study was that retail investors did not understand the differences between investment advisers and broker-dealers.

Eight years later, the SEC is taking some direct measures in response to this finding. In June, the ...

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